Manager - Legal Compliance - CS + LLB - BFSI

A Leading Financial Brand Looking for Manager - Legal Compliance

Location : Mumbai

Qualification : CS + LLB

Objective : To discharge the (Company Secretary, Compliance Officer & Legal) accountabilities by pro-actively assisting Management in identifying and containing compliance, risk, monitoring, reporting and certification; fostering a compliance culture and optimizing relations with Regulators.

Job Description / Responsibilities :

- Advising the Management on various issues so as to make the Company compliant with all regulatory laws (SEBI/NSE/BSE/NSDL) in respect of all business segments of the Company.

- Formulation of compliance framework to ensure compliance with the relevant regulatory and statutory provisions

- Monitoring the activities of various departments to ensure that they are acting in accordance with the relevant provisions pertaining to their activities

- Monitoring submission of Regulatory Returns

- Vetting of new products/systems from regulatory angle.

- Overseeing implementation of Circulars issued by regulators

- Handling NSE/BSE/SEBI Inspections

- Handling all the queries from Exchanges and other regulators

- Ensuring maintenance of Books/Records as per regulatory requirement

- Handling other day-to-day activities involving compliance issues.

Please apply with your updated resume with your current and Expected CTC and notice period

Siddhika Nakhawa
Sr. Research Associate
Peopledge HR Consulting